Submission for OMB Review; Comment Request, 39647 [E7-13964]
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Federal Register / Vol. 72, No. 138 / Thursday, July 19, 2007 / Notices
of the Exchange Act with respect to its
investor protection function.
Completing and filing Form BD is
mandatory in order to engage in brokerdealer activity. Compliance with Rule
15b1–1 does not involve the collection
of confidential information. Please note
that an agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless it displays a currently valid
control number.
General comments regarding the
estimated burden hours should be
directed to the following persons: (i)
Desk Officer for the Securities and
Exchange Commission, Office of
Information and Regulatory Affairs,
Office of Management and Budget,
Room 10102, New Executive Office
Building, Washington, DC 20503 or
send an e-mail to:
David_Rostker@omb.eop.gov and (ii) R.
Corey Booth, Director/Chief Information
Officer, Securities and Exchange
Commission, C/O Shirley Martinson,
6432 General Green Way, Alexandria
VA 22312 or send an e-mail to:
PRA_Mailbox@sec.gov. Comments must
be submitted to OMB within 30 days of
this notice.
Dated: July 12, 2007.
Nancy M. Morris,
Secretary.
[FR Doc. E7–13963 Filed 7–18–07; 8:45 am]
BILLING CODE 8010–01–P
amendments to such statements and
reports. The purpose of the regulation is
set forth guidelines for the uniform
preparation of Exchange Act documents.
All information is provided to the
public for review. The information
required is filed on occasion and is
mandatory. Regulation 12B is assigned
one burden hour for administrative
convenience because the regulation
simply prescribes the disclosure that
must appear in other filings under the
federal securities laws.
An agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless it displays a currently valid
control number.
Written comments regarding the
above information should be directed to
the following persons: (i) Desk Officer
for the Securities and Exchange
Commission, Office of Information and
Regulatory Affairs, Office of
Management and Budget, Room 10102,
New Executive Office Building,
Washington, DC 20503 or send an email to David_Rostker@omb.eop.gov;
and (ii) R. Corey Booth, Director/Chief
Information Officer, Securities and
Exchange Commission, C/O Shirley
Martinson, 6432 General Green Way,
Alexandria, VA 22312; or send an email to: PRA_Mailbox@sec.gov.
Comments must be submitted to OMB
within 30 days of this notice.
SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
Comment Request
Dated: July 12, 2007.
Nancy M. Morris,
Secretary.
[FR Doc. E7–13964 Filed 7–18–07; 8:45 am]
BILLING CODE 8010–01–P
Upon Written Request; Copies Available
From: Securities and Exchange
Commission, Office of Filings and
Information Services, Washington, DC
20549.
cprice-sewell on PROD1PC66 with NOTICES
Extension:
Regulation 12B, OMB Control No. 3235–
0062, SEC File No. 270–70.
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) the Securities
and Exchange Commission
(‘‘Commission’’) has submitted to the
Office of Management and Budget the
request for extension of the previously
approved collection of information
discussed below.
Regulation 12B (17 CFR 240.12b–1–
12b–37) includes rules governing all
registration statements pursuant to
Sections 12(b) and 12(g) (U.S.C. 78l(b)
and 78l(g)) of the Securities Exchange
Act of 1934 (15 U.S.C. 78a et seq.)
(‘‘Exchange Act’’), including all
VerDate Aug<31>2005
15:31 Jul 18, 2007
Jkt 211001
SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
Comment Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Filings and
Information Services, Washington, DC
20549.
Extension:
Regulation S–AM, SEC File No. 270–548,
OMB Control No. 3235–0609.
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) the Securities
and Exchange Commission
(‘‘Commission’’) has submitted to the
Office of Management and Budget
request[s] for extension of the
previously approved collection[s] of
information discussed below.
PO 00000
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39647
Regulation S–AM: Limitation on
Affiliate Marketing
Regulation S–AM implements the
requirements of Section 214 of the Fair
and Accurate Credit Transactions Act of
2003 (Pub. L. 108–159) (‘‘FACT Act’’) as
applied to brokers, dealers, and
investment companies, as well as
investment advisers and transfer agents
that are registered with the Commission
(collectively, ‘‘Covered Persons’’). As
directed by Section 214 of the FACT
Act, before a receiving affiliate may
make marketing solicitations based on
the communication of certain consumer
financial information from a Covered
Person, the Covered Person must
provide a notice to each affected
individual informing the individual of
his or her right to prohibit such
marketing. The regulation potentially
applies to all of the approximately
22,106 Covered Persons registered with
the Commission, although only
approximately 15,474 of them have one
or more corporate affiliates, and the
regulation would require only
approximately 2,211 of them to provide
consumers with notice and an opt-out
opportunity.
The Commission has estimated that
each of the approximately 15,474
Covered Persons having one or more
affiliates would require an average onetime burden of 1 hour to review affiliate
marketing practices, for a total of 15,474
hours, at a total staff cost of
approximately $3,791,130.
Approximately 2,211 Covered Persons
would be required to provide notice and
opt-out and would incur an average
first-year burden of 6 hours in doing so,
for a total estimated first-year burden of
13,266 hours, at a total staff cost of
approximately $2,510,590.50. With
regard to continuing notice burdens,
each of the approximately 2,211
Covered Persons required to provide
notice and opt-out would incur a onetime first-year burden of 2 hours to
develop notices for new consumers and
an annual burden of 2 hours to deliver
the notices and record any opt-outs, at
a total staff cost of approximately
$1,673,727. Averaged across the first
three years for which compliance would
be required, the total average yearly
burden would be approximately 12,528
hours and $7,975,447.50 in staff costs.
An agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless it displays a currently valid
control number.
Comments should be directed to (i)
Desk Officer for the Securities and
Exchange Commission, Office of
Information and Regulatory Affairs,
E:\FR\FM\19JYN1.SGM
19JYN1
]]>Agencies
[Federal Register Volume 72, Number 138 (Thursday, July 19, 2007)]
[Notices]
[Page 39647]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-13964]
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SECURITIES AND EXCHANGE COMMISSION
Submission for OMB Review; Comment Request
Upon Written Request; Copies Available From: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC
20549.
Extension:
Regulation 12B, OMB Control No. 3235-0062, SEC File No. 270-70.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget the request for extension of the previously approved
collection of information discussed below.
Regulation 12B (17 CFR 240.12b-1-12b-37) includes rules governing
all registration statements pursuant to Sections 12(b) and 12(g)
(U.S.C. 78l(b) and 78l(g)) of the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) (``Exchange Act''), including all amendments to
such statements and reports. The purpose of the regulation is set forth
guidelines for the uniform preparation of Exchange Act documents. All
information is provided to the public for review. The information
required is filed on occasion and is mandatory. Regulation 12B is
assigned one burden hour for administrative convenience because the
regulation simply prescribes the disclosure that must appear in other
filings under the federal securities laws.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid control number.
Written comments regarding the above information should be directed
to the following persons: (i) Desk Officer for the Securities and
Exchange Commission, Office of Information and Regulatory Affairs,
Office of Management and Budget, Room 10102, New Executive Office
Building, Washington, DC 20503 or send an e-mail to David--
Rostker@omb.eop.gov; and (ii) R. Corey Booth, Director/Chief
Information Officer, Securities and Exchange Commission, C/O Shirley
Martinson, 6432 General Green Way, Alexandria, VA 22312; or send an e-
mail to: PRA--Mailbox@sec.gov. Comments must be submitted to OMB within
30 days of this notice.
Dated: July 12, 2007.
Nancy M. Morris,
Secretary.
[FR Doc. E7-13964 Filed 7-18-07; 8:45 am]
BILLING CODE 8010-01-P
